Somerville Financial Services Limited

• Principal Place of Business

  Unit 4 Stour Valley Business Centre

  Brundon Lane

  Sudbury

  Suffolk

  CO10 7GB

  UNITED KINGDOM

  Phone

  +442038721800

  Web

  https://www.somervillefs.co.uk

• Complaints Contact

  Unit 4 Stour Valley Business Centre

  Brundon Lane

  Sudbury

  Suffolk

  CO10 7GB

  UNITED KINGDOM

  Phone

  +442038721800

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Andrew Somerville Cross

  IRN ASC00016

  • SMF9 Chair of the Governing Body (8 Aug 2023 to 2 Feb 2024)
  • SMF3 Executive Director (9 Dec 2019 to 8 Aug 2023)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Brian Christopher Jeggo

  IRN BCJ00004

  • CF30 Customer (1 Nov 2007 to 1 Jul 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David William Foster

  IRN DWF01028

  • CF30 Customer (17 Jan 2013 to 6 Jun 2013)
• Gavin Lee Ridgeon

  IRN GLR00008

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 8 Jun 2022)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (25 Jul 2008 to 8 Dec 2019)
  • CF21 Investment Adviser (27 May 2004 to 1 Oct 2004)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 27 May 2004)
• Harbinder Rana

  IRN HXR00028

  • CF30 Customer (20 Aug 2014 to 5 Jul 2017)
• Julian Andre Calver

  IRN JAC01300

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (18 Aug 2015 to 8 Dec 2019)
• Mark Thomas

  IRN MGT00003

  • CF30 Customer (14 Aug 2014 to 30 Aug 2016)
• Philip Douglas Gough

  IRN PDG00010

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
• Richard Ifeanyi Halim

  IRN RIH01047

  • CF30 Customer (25 Oct 2012 to 1 Nov 2017)
• Richard Wakefield

  IRN RDW00027

  • CF30 Customer (14 Aug 2014 to 13 Dec 2016)

No changes recorded yet.